Kathie O'Donnell

New York

Reporter at The Bond Buyer

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Articles

Born after scandals, the muni market's principal regulator turns 50

2 days ago | today.westlaw.com | Kathie O'Donnell

Fifty years ago today, something big happened in municipal market history: Congress created the Municipal Securities Rulemaking Board. And for nearly 29 of those 50 years, Christopher "Kit" Taylor served as executive director at the MSRB – the muni...
Born after scandals, the muni market's principal regulator turns 50

3 days ago | bondbuyer.com | Kathie O'Donnell

Fifty years ago today, something big happened in municipal market history: Congress created the Municipal Securities Rulemaking Board. And for nearly 29 of those 50 years, Christopher "Kit" Taylor served as executive director at the MSRB – the muni market's principal regulator.
Supreme Court won't review ruling upholding FINRA's constitutionality

4 days ago | today.westlaw.com | Kathie O'Donnell

The Financial Industry Regulatory Authority got a bit of good news on Monday, courtesy of the nation's highest court as anorder listposted to the U.S. Supreme Court's website on June 2 indicated that Alpine Securities Corp.'s petition for a writ of...
Supreme Court won't review ruling upholding FINRA's constitutionality

4 days ago | bondbuyer.com | Kathie O'Donnell

The Financial Industry Regulatory Authority got a bit of good news on Monday, courtesy of the nation's highest court as an order list posted to the U.S. Supreme Court's website on June 2 indicated that Alpine Securities Corp.'s petition for a writ of certiorari in a case challenging FINRA's authority had been denied. In its Feb.
Father and son plead guilty to defrauding Arizona sports complex bondholders

1 week ago | bondbuyer.com | Kathie O'Donnell

A father and his son pleaded guilty on Wednesdayto securities fraud and aggravated identity theft in connection with roughly $284 million of municipal bonds sold for an Arizona sports complex, a major step toward bringing to a close one chapter in this tale of bond offerings gone bad. Randy Miller, 70, and Chad Miller, 41, entered the guilty pleas before U.S. Magistrate Judge Robyn F. Tarnofsky and will be sentenced before U.S. District Judge Lewis A.
Father and son plead guilty to defrauding Arizona sports complex bondholders

1 week ago | today.westlaw.com | Kathie O'Donnell

A father and his son pleaded guilty on Wednesdayto securities fraud and aggravated identity theft in connection with roughly $284 million of municipal bonds sold for an Arizona sports complex, a major step toward bringing to a close one chapter in...
SEC chair's message of 'new day' at the agency welcomed

2 weeks ago | financial-planning.com | Kathie O'Donnell

The Securities and Exchange Commission's new chairman is laser-focused on returning the agency — which plays key roles in the municipal securities market — to its core mission and eschews regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.
FINRA fines firm $37,500 for municipal securities rule violations

2 weeks ago | today.westlaw.com | Kathie O'Donnell

Tampa, Florida-based Calton & Associates has agreed to pay $37,500 to settle Financial Industry Regulatory Authority charges that it violated municipal securities rules, including allegedly failing to disclose required mark-up and mark-down...
FINRA fines firm $37,500 for municipal securities rule violations

2 weeks ago | bondbuyer.com | Kathie O'Donnell

Tampa, Florida-based Calton & Associates has agreed to pay $37,500 to settle Financial Industry Regulatory Authority charges that it violated municipal securities rules, including allegedly failing to disclose required mark-up and mark-down information on hundreds of retail customer confirmations.
SEC chair's message of 'new day' at the agency welcomed

2 weeks ago | bondbuyer.com | Kathie O'Donnell

The Securities and Exchange Commission's new chairman is laser-focused on returning the agency – which plays key roles in the municipal securities market – to its core mission and eschews regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.